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BRWA

B. Riley Wealth Advisors Portfolio holdings

AUM $1.87B
1-Year Est. Return 37.01%
This Fund
S&P 500
This Quarter Est. Return
-1.27%
1 Year Est. Return
+37.01%
3 Year Est. Return
+105.27%
5 Year Est. Return
+122.55%
10 Year Est. Return
+465.52%
AUM
$384M
AUM Growth
-$41.6M
Cap. Flow
-$316M
Cap. Flow %
-82.26%
Top 10 Hldgs %
12.69%
Holding
2,640
New
189
Increased
71
Reduced
395
Closed
1,957

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$870K
2
SLV icon
iShares Silver Trust
SLV
+$579K
3
QID icon
ProShares UltraShort QQQ
QID
+$425K
4
WFT
Weatherford International plc
WFT
+$386K
5
KMI icon
Kinder Morgan
KMI
+$334K

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$22.8M
2
META icon
Meta Platforms (Facebook)
META
+$6.67M
3
CVX icon
Chevron
CVX
+$5.29M
4
PCI
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
+$4.71M
5
GE icon
GE Aerospace
GE
+$4.54M

Sector Composition

Rank Sector Weight
1 Miscellaneous 51.69%
2 Energy 7.27%
3 Technology 7.19%
4 Healthcare 6.93%
5 Financials 6.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WDR
1901
DELISTED
Waddell & Reed Financial, Inc.
WDR
– –
-642
Closed -$40.2K
GLUU
1902
DELISTED
Glu Mobile Inc.
GLUU
– –
-800
Closed -$4K
RP
1903
DELISTED
RealPage, Inc.
RP
– –
-11
Closed -$257
VAR
1904
DELISTED
Varian Medical Systems, Inc.
VAR
– –
-72
Closed -$5.24K
OCSI
1905
DELISTED
Oaktree Strategic Income Corporation
OCSI
– –
-7,056
Closed -$99K
DUC
1906
DELISTED
Duff & Phelps Utility & Corporate Bond Trust
DUC
– –
-500
Closed -$5.24K
TCP
1907
DELISTED
TC Pipelines LP
TCP
– –
-1,017
Closed -$52.5K
EV
1908
DELISTED
Eaton Vance Corp.
EV
– –
-266
Closed -$10.1K
CLCT
1909
DELISTED
Collectors Universe
CLCT
– –
-3,228
Closed -$63.2K
CEL
1910
DELISTED
Cellcom Israel, Ltd.
CEL
– –
-457
Closed -$5.52K
AIG.WS
1911
DELISTED
American International Group, Inc.
AIG.WS
– –
-601
Closed -$16K
HSBC.PRA
1912
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
– –
-170
Closed -$4.31K
WPX
1913
DELISTED
WPX Energy, Inc.
WPX
– –
-533
Closed -$12.7K
HDS
1914
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-400
Closed -$11.4K
DNKN
1915
DELISTED
Dunkin' Brands Group, Inc.
DNKN
– –
-2,004
Closed -$91.8K
FVL
1916
DELISTED
First TrustValue Line 100 Exchange-Traded
FVL
– –
-261
Closed -$5.33K
UCI
1917
DELISTED
E-TRACS UBS Bloomberg CMCI ETN
UCI
– –
-1,250
Closed -$27K
TLI
1918
DELISTED
Western Asset Corporate Loan Fund Inc.
TLI
– –
-1,000
Closed -$12K
BITA
1919
DELISTED
Bitauto Holdings Limited
BITA
– –
-3,571
Closed -$174K
CBL
1920
DELISTED
CBL& Associates Properties, Inc.
CBL
– –
-1,084
Closed -$20.6K
FKO
1921
DELISTED
First Trust South Korea AlphaDEX Fund
FKO
– –
-1,060
Closed -$29.3K
MNK
1922
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
– –
-606
Closed -$48.5K
DNI
1923
DELISTED
Dividend and Income Fund
DNI
– –
-253
Closed -$4.04K
AMTD
1924
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-39
Closed -$1.23K
NBL
1925
DELISTED
Noble Energy, Inc.
NBL
– –
-1,695
Closed -$131K
75 76
77
78 79

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B. Riley Wealth Advisors's Q3 2014 Portfolio in Review

As of Q3 2014, B. Riley Wealth Advisors held 2,640 positions worth $384M, down 9.8% from $426M the previous quarter. Its ten largest holdings account for 13% of the portfolio.

B. Riley Wealth Advisors withdrew a net $316M in Q3 2014, closing 1,957 positions and reducing 395 holdings. Its most notable exit was iShares 7-10 Year Treasury Bond ETF, an estimated $2.28M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 52% of assets, up from 35% a quarter earlier, followed by Energy and Technology.

Against the trend, B. Riley Wealth Advisors opened a new position in Weatherford International plc worth $357K.

  • B. Riley Wealth Advisors's largest Q3 2014 buy was Weatherford International plc: 17,182 shares worth $357K.
  • B. Riley Wealth Advisors added most to State Street SPDR S&P 500 ETF Trust in Q3 2014, an estimated $870K increase.
  • B. Riley Wealth Advisors's biggest Q3 2014 reduction was Apple, cutting an estimated $22.8M.
  • B. Riley Wealth Advisors fully exited iShares 7-10 Year Treasury Bond ETF in Q3 2014, selling an estimated $2.28M.
  • B. Riley Wealth Advisors's ten largest holdings make up 13% of its $384M portfolio in Q3 2014.
  • B. Riley Wealth Advisors opened 189 new positions and closed 1,957 in Q3 2014.
  • B. Riley Wealth Advisors's portfolio value fell 9.8% quarter-over-quarter to $384M.

Based on B. Riley Wealth Advisors's 13F filing for Q3 2014, filed 14 Nov 2014.